MATHEW TODD GOLDBERG is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 135 E 57TH ST FL 14, NEW YORK, NY, 10022.
MATHEW TODD GOLDBERG has worked at LPL FINANCIAL LLC since March 01, 2010
Disclosure History
MATHEW TODD GOLDBERG has 3 Disclosure Event(s).
Date: July 30, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES AN UNSUITALE RECOMMENDATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITY. CLIENT HAS REQUESTED THE RETURN OF THEIR INVESTMENT. Damage Amount Requested: $100,000.00 Settlement Amount: $300,000.00 Broker Comment: ON AUGUST 13 AND 14, 2008, JPMORGAN CHASE AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE NEW YORK ATTORNEY GENERAL'S OFFICE, AND THE OFFICE OF FINANCIAL REGULATION FOR THE STATE OF FLORIDA AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TASK FORCE, RESPECTIVELY, WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THESE SETTLEMENTS, JP MORGAN SECURITIES, INC., PURCHASED BACK FROM CUSTOMERS ARS POSITION(S) AT PAR, IN ADDITION TO PAYING ACCRUED INTEREST ON THE PAR AMOUNT.
Date: April 22, 2008 Category: Customer Dispute Allegations: CLIENT THROUGH THEIR ATTORNEY ALLEGES AN UNSUITABLE RECOMMENDATION AND MISREPRESENTATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITY. CLIENT HAS REQUESTED THE RETURN OF THEIR INVESTMENT. Damage Amount Requested: $200,000.00 Settlement Amount: $200,000.00 Broker Comment: ON AUGUST 13 AND 14, 2008, JPMORGAN CHASE AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE NEW YORK ATTORNEY GENERAL'S OFFICE, AND THE OFFICE OF FINANCIAL REGULATION FOR THE STATE OF FLORIDA AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TASK FORCE, RESPECTIVELY, WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THESE SETTLEMENTS, JP MORGAN SECURITIES, INC., PURCHASED BACK FROM B E STAGE MANAGEMENT, INC ARS POSITION(S) AT PAR, IN ADDITION TO PAYING ACCRUED INTEREST ON THE PAR AMOUNT.
Date: March 26, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITY. CLIENT HAS REQUESTED THE RETURN OF THEIR ORIGINAL INVESTMENT Damage Amount Requested: $300,000.00 Broker Comment: THE CLIENTS POSITIONS WERE CALLED AND/OR LIQUIDATED AT AUCTION.
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